Current Issues In The Design And Operation Of Defined Contribution Plans: Fee Disclosures: Regulatory Requirements Regarding Plan Participants, Service Providers and Related Legislative Proposals


In This Presentation:

DOL Final Regulations: Fee Disclosures to Participants in Defined Contribution Plans Background; Overview of Final Regulations; Required Disclosure of Plan-Related Information; Required Disclosure of Investment-Related Information; Brokerage Windows; Annuities; Periodic Updating; Electronic Media; Effect on Prior Periods Prior to 2011; Treatment of Existing Participants; Penalties and Further Questions; DOL Announces Proposed Regulation With Respect to Disclosures Relating to Target Date Funds; Table 1 – Variable Return Investments; Table 2 – Fixed Return Investments; Table 3 – Fees and Expenses; Table 4 – Annuity Options; Legislative Proposals Regarding Plan Fee Disclosures; Background; Defined Contribution Fee Disclosure Act of 2010; DOL Interim Final Regulations: Disclosure by Service Providers; Background; Overview; Covered Service Providers; Special Recordkeeping Disclosure Rules; Timing of Disclosure; Reliance on Information from Recordkeepers; Prohibited Transaction Relief for Plan Fiduciaries; and Effective Date.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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